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1998


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Contents:
98-108 NASD Extends Deadline For Updating Firm Contact Information Via The NASD Regulation Web Site To February 1,1999
98-107 NASD Reminds Members Of Their Obligations To Disclose Mutual Fund Fees
98-106 Trade Date - Settlement Date Schedule For 1999
98-105 NASD 1999 Holiday Schedule
98-104 Fixed Income Pricing System Additions, Changes, And Deletions As Of October 23, 1998
98-103 Maximum SOES Order Sizes Set To Change January 1, 1999
98-102 Calculating Margin For Day-Trading And Cross-Guaranteed Accounts
98-101 NASD Requests Comment On Proposed Amendments To Disclosure Questions On Forms U-4 And U-5
98-100 FOCUS Filing Due Dates For 1999
98-99 SEC Issues No-Action Letter On Proprietary Accounts Of Introducing Broker/Dealers
98-98 SEC Approves Rule Change Relating To Mutual Fund Breakpoint Sales
98-97 Notice Of Increase In Advertising Review Fees
98-96 NASD Elaborates On Member Firms' Supervision Responsibilities For Trade Reporting And Market-Making Activities
For Your Information For December
Year 2000 Update For December
98-95 Fixed Income Pricing System Additions, Changes, And Deletions As Of September 23, 1998
98-94 Christmas Day And New Year's Day: Trade Date — Settlement Date Schedule
98-93 NASD Informs Members Of District Committee Members And District Nominating Committee Members
98-92 NASD Regulation Articulates Position On The Application Of NASD Rule 2680 To U.S. Broker/Dealers That Intermediate Transactions Pursuant To Exchange Act Rule 15a-6(a)(3)
98-91 NASD Alerts Members To Their Obligations Concerning Cold Calling And Advertising To Persons In The United Kingdom
98-90 New Arbitrator List Selection Rules And Monetary Thresholds For Simplified And Single Arbitration Cases Take Effect
NASD Notice Of Meeting Proxy For November
Year 2000 Update For November
98-89 NASD Announces Changes In CRD Filing Fees
98-88 Underwriting Compensation In Public Offerings
98-87 Fixed Income Pricing System Additions, Changes, And Deletions As Of August 24, 1998
98-86 Columbus Day, Veterans Day, And Thanksgiving Day: Trade Date — Settlement Date Schedule
98-85 SEC Approves Rule Changes Regarding Electronic Communication Networks, Locked And Crossed Markets, And Members' Obligation To Provide Nasdaq With Certain Information
98-84 Broker/Dealer And Agent Renewals For 1999
98-83 SEC Approves Rule Change Relating To Standards For Individual Correspondence
98-82 SEC Approves Amendments To Automated Confirmation Transaction Service And Transaction Reporting Rules
98-81 NASD Regulation Requests Comment On Whether Some Rules Should Be Repealed As Obsolete Or Amended To Provide Institutional Customer Exception
For Your Information For October
Year 2000 Update For October
98-80 Nominees For NASD Board Of Governors
98-79 Fixed Income Pricing System Additions, Changes, And Deletions As Of July 23, 1998
98-78 NASD Clarifies Operation Of The Limit Order Protection Rule During Unusual Market Conditions
98-77 Executive Representatives Must Maintain Internet Electronic Mail Account By January 1, 1999; Complimentary Hard Copy Distribution Of Key Publications To End January 1, 1999
98-76 Maximum SOES Order Sizes Set To Change October 1, 1998
98-75 SEC Approves Rule Change Relating To Non- Cash Compensation For Mutual Funds And Variable Products
98-74 SEC Approves Rule Amendment Relating To Hearings On Suspensions And Cancellations For Failure To Comply With Arbitration Awards
98-73 Firms Required To Register For Order Audit Trail System; Amendments To OATS Rules
98-72 Regional Nominating Committee Nominees For The National Adjudicatory Council
For Your Information For September
98-71 NASD Regulation Requests Comment On Whether To Modify The Public Disclosure Program To Limit The Period For Disclosure Of Certain Criminal Information
98-70 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998
98-69 Labor Day: Trade Date — Settlement Date Schedule
98-68 Update On The Securities Industry Continuing Education Program
98-67 SEC Approves Amendment To Rule On Fidelity Bonding Requirements
98-66 NASD Clarifies Acceptable Customer Access To SelectNet And SOES Correction on page 497, the third sentence in the last paragraph under subhead Background - SelectNet And SOES
98-65 NASD Reminds Members Of Obligations Relating To The Short- Sale Rule
98-64 Mail Vote — NASD Solicits Member Vote On Amendments To NASD By-Laws To Reconfigure NASD Board
For Your Information For August
98-63 NASD Alerts Members About SEC Rule Amendment Requiring Broker/Dealers To File Year 2000 Reports And Releases Year 2000 Survey Results
98-62 District Committee And District Nominating Committee Election Procedures And National Adjudicatory Council Nomination Procedures
98-61 NASD Members Face CRD Account Deduction Or Membership Cancellation For Non-payment Of Arbitration Fees
98-60 NASD Extends Filing Period For New Equity Trader Examination And Responds To Questions Regarding New Equity Trader Qualification Rule
98-59 SEC Approves Amendments To NASD Rule 1120 (Continuing Education Requirements)
98-58 NASD Manual Now On-Line
98-57 Fixed Income Pricing System Additions, Changes, And Deletions As Of June 24, 1998
98-56 SEC Approves Rule Change Regarding Arbitration Of Statutory Employment Disputes
98-55 Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS)
98-54 SEC Approves Rule Change Regarding Approval Of Research Reports
98-53 Members Reminded To Report Executive Representative And Address Changes
98-52 SEC Approves Taping Rule
98-51 Exemptive Relief Under MSRB Rule G-37(i)
98-50 Treasury Updates List Of Specially Designated Persons And Entities
98-49 SEC Approves Amendments To Rule Regarding Options Position Limits
98-48 SEC Approves Amendments To Free-Riding And Withholding Interpretation
98-47 SEC Approves Changes To Books And Records Requirements
For Your Information For July
98-46 Independence Day: Trade Date — Settlement Date Schedule
98-45 Fixed Income Pricing System Additions, Changes, And Deletions As Of May 22, 1998
98-44 SOES Tier-Size Levels Set To Change July 1, 1998
98-43 Federal Reserve System Amends Regulations T, U, And X
98-42 NASD Regulation Requests Comment On Proposed Rules Regarding Cease-And- Desist Proceedings
For Your Information For June
98-41 Fixed Income Pricing System Additions, Changes, And Deletions As Of April 24, 1998
98-40 Nasdaq To Incorporate Trade Acceptance And Reconciliation Service Into Automated Confirmation Transaction Service
98-39 NASD Revises Sanction Guidelines
98-38 NASD Reminds Members Of Supervisory And Inspection Obligations
For Your Information For May
98-37 Memorial Day: Trade Date — Settlement Date Schedule
98-36 Fixed Income Pricing System Additions, Changes, And Deletions As Of March 25, 1998
98-35 SEC Approves Changes To Continuing Education Rules
For Your Information For April
98-34 SEC Requests Comment On Amendments To Rule 17a-5 Requiring Reports On Year 2000 Preparedness
98-33 SEC Approves New Order Audit Trail System (OATS)
98-32 Good Friday: Trade Date — Settlement Date Schedule
98-31 Fixed Income Pricing System Additions, Changes, And Deletions As Of February 23, 1998
98-30 NASD Office Of The Ombudsman Clarifies Its Role
98-29 SOES Tier-Size Levels Set To Change April 1, 1998
98-28 Industry/Regulatory Council On Continuing Education Issues Firm Element Advisory
98-27 Interim Forms U-4 And U-5 Go Into Effect; Interim Form BD Also Approved
For Your Information For March
98-26 SEC Approves Temporary Changes To NYSE Circuit Breaker/Trading Halt Rules
98-25 Fixed Income Pricing System Additions, Changes, And Deletions As Of January 23, 1998
98-24 Annual Checklist Of NASD Notices To Members
98-23 SEC Requests Comment On Proposed Amendments To Continuing Education Rules
98-22 Year 2000 Frequently Asked Questions
98-21 SEC Approves Amendments To Rule On Clearly Erroneous Transactions
98-20 Treasury Updates List Of Specially Designated Persons And Entities
98-19 SEC Requests Comment On Proposed Amendments To Net Capital Rule
98-18 NASD Regulation Permits Electronic Methods For Holding Annual Interviews Or Meetings With Registered Representatives
98-17 SEC Approves New NASD Qualification Requirements And Examination For Equity Traders (Series 55)
98-16 SEC Approves New Qualification Examination For Government Securities Representatives (Series 72) And New Registration Requirements For Registered Options Representatives (Series 42)
For Your Information For February
98-15 NASD Regulation Requests Comment On Proposal To Adopt Recommendation And Disclosure Rules For Over-The-Counter (OTC) Equity Securities
98-14 NASD Requests Comment On Limiting Quotations On Over-The-Counter Bulletin Board (OTCBB) To Securities Of Reporting Issuers
98-13 Fixed Income Pricing System Additions, Changes, And Deletions As Of December 30, 1997
98-12 Presidents' Day: Trade Date — Settlement Date Schedule
98-11 SEC Approves Rules Regarding Supervision, Review, And Record Retention Of Correspondence
98-10 Transaction Reporting And Quotation Obligations Under The Fixed Income Pricing System (FIPS)
98-9   1997-98 Renewal Rosters And Final Adjusted Invoices
98-8 Treasury Requires Reporting Of Claims Against Government Of North Korea
98-7 Unregistered Foreign Equities And ADRs No Longer Eligible For Quotation In OTC Bulletin Board
98-6 SEC Approves Changes To Rules On Market Maker Withdrawals And Reinstatements
98-5 SEC Approves Changes To Third Market Trading Rules
98-4 Reminder Of Members' Obligations To Comply With Rule15c2-4
98-3 Electronic Delivery Of Information Between Members And Their Customers
98-2 SEC Approves Amendments To Rule 1010, 8000, And 9000 Series To Reflect Changes In NASD Corporate Organization
98-1 Arbitration Process Fees
For Your Information For January